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Excessive Trading

December 07, 2023 Christopher Kennedy of Western International Securities Barred for Excessive Churning Resulting in $2.3 Million in Losses
March 20, 2019 Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds
December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
November 22, 2022 Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
January 01, 2021 Worden Capital Management Ordered to Pay $1.5 Million Over Systemic Excessive Trading and Unsuitable Recommendations That Caused Losses of Millions of Dollars, Interfering with Customers' Requests to Transfer Accounts to Another Broker-Dealer
August 04, 2020 Oppenheimer, Already Sanctioned $3.8 Million, Sees Broker Penalized for Premature & Unsuitable UIT Sales & Trades
July 29, 2020 Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
February 06, 2020 Wells Fargo Fined for Failing to Supervise Rep's Excessive Trading; Matthew Maczko Barred